Compliance Officer

A Compliance Officer is a senior executive responsible for overseeing and managing an organization's adherence to all relevant laws, regulations, internal policies, and ethical standards, primarily focusing on mitigating legal and financial risks associated with regulatory non-compliance. This critical role involves establishing a robust compliance program, conducting risk assessments, and acting as the primary liaison between the firm and regulatory bodies like the Financial Crimes Enforcement Network (FinCEN) or the Financial Conduct Authority (FCA).